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Detailed Report
HENRY SPENCER SMITH
H.G. SPENCER SMITH, HENRY S. SMITH, SPENCER HENRY SMITH, SPENCER SMITH
CRD#: 2125038
IA
Investment Adviser
SPENCER SMITH ASSET MANAGEMENT, INC.CRD#: 312678 FORT LAUDERDALE, FL
Registration History
20002002200420062008201020122014201620182020202220242026IASPENCER SMITH ASSET MANAGEMENT... (CRD# 312678)2021 - Present (4 years)IAGREENSVIEW WEALTH MANAGEMENT (CRD# 297321)2018 - 2021 (2 years)IASPENCER SMITH ASSET MANAGEMENT... (CRD# 139613)2006 - 2019 (12 years)IAMERRILL LYNCH PIERCE FENNER & ... (CRD# 7691)1999 - 2005 (6 years)
Disclosure(s)
View By:
3/9/2011
Customer Dispute
Settled
License(s)

State Registrations

IA
Florida 2/26/2021
Current Registration(s)
IA
SPENCER SMITH ASSET MANAGEMENT, INC. (CRD#:312678)
FORT LAUDERDALE, FL
Registered with this firm since 2/26/2021
Previous Registration(s)
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 12/05/2018 - 03/10/2021 GREENSVIEW WEALTH MANAGEMENT (CRD#:297321) CHICAGO, IL
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 04/27/2006 - 01/24/2019 SPENCER SMITH ASSET MANAGEMENT, INC. (CRD#:139613) FORT LAUDERDALE, FL
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 06/04/1999 - 11/11/2005 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) KEY WEST, FL
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.